Articles Posted in CRIMINAL PROCEDURE

Corporations in New York can be charged with criminal and non-criminal offenses. Corporations are often charged with regulatory violations some of which are indeed criminal. These include zoning, building, fire safety and health offenses but can also be charged with criminal offenses. Service of an appearance ticket on a corporate defendant in a criminal action is not guided by Article 150 of the New York Criminal Procedure Law as it is for service on a natural person. Instead, service of an appearance ticket upon a corporate defendant in a criminal action is guided by CPL 600.10 which provides in pertinent part:

The court attendance of a corporation for purposes of commencing

or prosecuting a criminal action against it may be accomplished by

Recently I was contacted by a person who had been issued a ticket for passing a stopped school bus (VTL 1174 “Overtaking And Passing School Bus) by a New Rochelle Police Officer who left the ticket with this person’s son at the front door of his home located in White Plains, New York. Briefly, this gentleman’s front doorbell rang. His nineteen year old son answered the door and was greeted by a New Rochelle Police Officer who asked him if he was the owner of a particular vehicle that was parked in his driveway. The son said he wasn’t but that his dad was at which point the New Rochelle Police Officer handed the son a traffic ticket for his father for passing a stopped school bus (VTL 1174).

I later learned that the New Rochelle Police Officer had not witnessed the alleged improper passing of the school bus nor had any other police officers. However, a school bus driver had written down the license plate number of a vehicle the school bus driver alleged had failed to stop for the school bus which had stopped, activated its lights and stop-sign and was discharging school children. The school bus driver then contacted the police, told them what he witnessed and gave them the plate number.

The police ran the plate number and learned the make, model, year and color of the vehicle and who it was registered to. The make, model, year and color matched the description given by the school bus driver. That’s what led the New Rochelle Police to this person’s home in White Plains, NY. However, the police cannot issue a traffic ticket to a person by leaving it with someone else.

In New York, as elsewhere, probationary sentences for criminal charges play a major role in the criminal justice system. Incarceration is rarely appropriate. When a judge sentences a defendant to a sentence that involves probation, it is the judge that determines the conditions of such probation. By law, it is the judge who determines a sentence and the conditions of that sentence. The sentencing judge cannot delegate his or her sentencing authority by allowing the Department of Probation to determine a defendant’s probation conditions. It is improper for sentencing judge to simply tell a defendant at sentencing that the Department of Probation will determine the defendant’s probation conditions. Such a blanket delegation of total discretion to the department of probation without any court-imposed parameters and guidance is improper.

“Sentenc[ing] is primarily a judicial responsibility.” People v. Selikoff, 35 N.Y.2d 227, 240 (1974). The granting of probation is a judicial process exercised in the discretion of the sentencing court. People v. Oskroba, 305 N.Y. 113 (1953). When a defendant is sentenced to probation, the Court, not the probation department, sets the terms and conditions of probation. PL § 65.10(1).

New York Criminal Procedure Law § 410.10(1) provides in part, “When the court pronounces a sentence of probation . . . it must specify as part of the sentence the conditions to be complied with.” This duty of the court to specify probation conditions cannot be delegated to the probation department or to any other party. See People v. Fuller, 57 N.Y.2d 152 (1982)(“Although a sentencing court may utilize the Probation Department “to act as a preliminary fact finder and submit its recommendations in a written report . . . in the end it is for the court, which alone must impose the sentence, to decide how much of the report, if any, to adopt and how much to reject”).

With Limited Exceptions, When the Defendant is a Natural Person,
Appearance Tickets Must be Served Personally [CPL 150.40(2)]

Generally, under New York law, other than an appearance ticket issued for a traffic infraction relating to parking, an appearance ticket must be personally served. Except, an appearance ticket issued for the violation of a local zoning ordinance or local zoning law, or of a local building or sanitation code may be issued in any manner authorized for service in a civil action under CPLR 308. CPL 150.40(2).

To summarize, appearance tickets issued to natural persons in New York must be personally served. Except, appearance tickets may be served in accordance with CPLR 308 (see below section) if they are for parking violations or violations of local zoning, building or sanitation violations.

Service Upon a Natural Person by Mail Insufficient. New York City Routinely Ignores The Requirement That Appearance Tickets Issued To Natural Persons Be Personally Served.

Personal service on a “defendant, whose liberty will be at stake in a criminal action, serves to assure his right to adequate notice and expeditious resolution of the charges.” People v. DiLorenzo, 149 Misc.2d 791, 794 (N.Y. City Crim. Ct. 1990). In DiLorenzo, the court noted that the certified mailing of an appearance ticket that should have been personally served was insufficient service.

In People v. Baxter, 148 Misc.2d 1009 (N.Y. City Crim. Ct. 1990) the court found service of appearance tickets by a New York City administrative agency by mail defective and dismissed charges for lack of jurisdiction. In doing so, the court observed “that the CPL requirements of personal service are not being followed by the Buildings Department and other administrative agencies.” Id. at 1010.

In People v. Neuberger, 149 Misc.2d 1 (N.Y. Crim. Ct. 1991) the court dismissed all charges against the defendants in the interests of justice explaining that “[a]s for the Corporation Counsel’s continued practice of flouting the service requirements of the Criminal Procedure Law, that abuse cannot be left unremedied.” People v. Neuberger, 149 Misc. 2d 1, 5 (N.Y. City Crim. Ct. 1991).

In Neuberger, several defendants were served appearance tickets by mail which ordered them to appear in criminal court. The Honorable Martin G. Karopkin explained that the Corporation Counsel had been warned numerous times over the preceding several months that such service by mail was improper:

On numerous occasions during the past several months this court, and others, have warned the Office of the Corporation Counsel, the Buildings Department and other city agencies that service by mail is improper and contrary to CPL 150.40, as well as CPL 600.10

.

Id. at 1-2.

Despite the repeated warnings of both J. Karopkin and other judges, “the Corporation Counsel . . . continued to submit affidavits of mailing to the court accompanying its pleadings and to argue that the defendants’ appearances confer jurisdiction and render that issue moot.” Id. at 2-3.

In other words, the New York City Corporation Counsel knowingly served appearance tickets on individuals by mail, in clear contravention of the law. What’s more troubling is that they continued to do so even after several judges warned the Corporation Counsel that such service was improper. Thus, the Corporation Counsel “acquired these defendants’ presence by means of improper service” and then argued that the defendants’ mere presence before the court conferred jurisdiction thus mooting the service issue. Id. at 5.

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In New York, where a police officer has arrested a person but has decided to issue that person an appearance ticket instead of bringing that person before a judge, the arrested person may be required to post pre-arraignment bail. The bail is forfeited if the person fails to appear as instructed in the appearance ticket. [CPL 150.30(1)].

Pre-arraignment bail (sometimes referred to as “stationhouse” bail) is fixed by the desk officer in charge at any police station/headquarters or the county jail or any of the desk officer’s superior officers as follows:

• For an E felony – up to $750.00;

If the police crash through your front-door at 6:00 a.m. in full paramilitary ninja outfits like Seal Team 6; drag you out of bed with assault weapons jammed in your temple; handcuff you and then proceed to tear up your house before realizing you live at 639 Main Street and the warrant is for 693 Main Street, you are most likely in custody. You couldn’t just get up and head out for your morning jog. However, if the police simply want to serve you with an appearance ticket at your home for leaving the scene of an accident or some other traffic infraction mystery they diligently investigated; you would not be in custody when they show up in the same paramilitary ninja outfits.

It does not constitute an arrest where the police decide to issue an appearance ticket to a person in a situation that does not require them to stop and seize that person. For example, in Angel v. Kasson, 581 F Supp 170 (N.D.N.Y 1983) after conducting an investigation into the death of an infant, the police decided to charge the parents with Endangering the Welfare of a Child. Id. at 174.

However, instead of formally arresting the parents, the police traveled to their home and served them with appearance tickets directing them to appear in court on a specific date to answer charges of endangering the welfare of a child. Id. The parents weren’t stopped while walking on the street or driving their car, detained and searched.